Regulatory Settlement Agreement

We can help you negotiate with the SRA for a Regulatory Settlement Agreement (RSA)
which is an alternative to hearings.

Settlement Agreement

We can help you negotiate with the SRA for a Regulatory Settlement Agreement (RSA) which is an alternative to a hearing. It’s a formal written agreement which settles complaints made by the SRA against the solicitor. The SRA may be willing to accept an RSA once the solicitor can accept the breaches they made to the solicitor’s code of conduct or SRA principles and are preparing to put the matter right. It’s difficult to get the SRA to consider this when they have no obligation to do so. Also, it’s unlikely that the SRA will consider an RSA if it believes the solicitor won’t comply with its terms.

Agreeing to an RSA means the SRA will supervise the firm or solicitor to ensure the terms of the agreement are being complied with. Further regulation against a solicitor can occur if they breach or fail to cooperate with the agreement terms. An RSA is beneficial because it’s flexible and resolution can be swift. We can advise you on whether an RSA is achievable in relation to your circumstances and how we plan to help you achieve it.

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Support and guidance with every stage

The SRA investigation

The investigation can be very time consuming and demanding on you and your practice and can take a considerable period of time to complete. The SRA can also send in forensic investigations team to your practice, if this happens the matter is very serious indeed and you must manage it professionally.

We can help you negotiate with the SRA for a Regulatory Settlement Agreement (RSA) which is an alternative to hearings. It’s a formal written agreement which settles complaints made by the SRA against the solicitor.

The Tribunal will set out directions. Applications can be made in the normal way and will be heard by a judge sometimes on the papers and sometime at a hearing. The panel is made up of a lay person with no legal experience or qualification and then two others who are legally qualified.

The forensic investigator may give live evidence and provide the SRA with the documentary evidence. The solicitor in question can present their defence and dispute allegations made against them through oral evidence.